The Financial Licensed Assistant's primary focus is to assist the advisor in the day-to-day trading and the administration of the business. To assist the advisor, manage the portfolios and help provide the best service and advice possible.Delivers a high level of client service by:Supporting advisor with the review of client portfolios to ensure alignment with risk profile and applicable investment objectivesGathering research and product information from internal and external sourcesEntering client trades as directed by client and/or advisorStaying up-to-date with regulatory rules and trading activities regarding client accounts.Following up with clients on missing documentation as per industry regulatory requirementsMaintaining client files and informationEnsuring daily trades and system account entries are timely and accurateResponding to client inquiries in a professional and responsive mannerResolving issues and implementing client transactions expeditiously and accuratelyIssuing instructions for client withdrawals, deposits,



swaps and transfersEnsuring all client interactions are accurately documentedUnderstanding the required documentation for all client account typesProvides marketing assistance to the advisor by:Identifying opportunities to acquire additional assets and/or increase revenue with existing clients (e.G. referrals, consolidation of assets, insurance, etc.)Developing, distributing and maintaining marketing materialsSupports the growth of the advisor business by:Assisting in idea generationRecommending ways to provide additional value to clients and increase office efficiencyContributes to the effective functioning of the team by:Building effective working relationships across the team and with corporate head officeMaintaining a high level of client service standardsFacilitating a culture of open and honest communication with team and especially the advisorActively participating and contributing to team meetingsEncouraging the generation of new ideas and process improvementsActively sharing knowledge and experience to enhance the development of all team membersEducational requirementsCanadian Securities Course (CSC)Conduct and Practices Handbook course (CPH)Investment Representative Training (IRT)Post-secondary educationWorking conditionsThe role operates within a standard office setting. The office is a fast-paced, often high stress, environment with multiple demands. The job requires the ability to multitask on a regular basis.

📌 Financial Licensed Assistant (Toronto)
🏢 Allan Small Financial Group with iA Private Wealth
📍 Toronto